Samuel Stephen Pawlak

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Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-03-16
WI	RA	APPROVED	2021-03-15

TX RA
APPROVED

Since 2021-03-16
WI RA
APPROVED

Since 2021-03-15

Branch Locations

717 North Mccarthy Road, Appleton, WI 54913 • United States

Appleton, WI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc.	Appleton	WI	02/2014	Present

02/2014 → Present

Rbc Capital Markets, Llc.

Appleton, WI

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-03-15

S66 Uniform Combined State Law Examination

2021-03-15

View on SEC IAPD

Other Firms

MORGAN STANLEY

PRIVATE CLIENT SERVICES, LLC

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

KAMKO FINANCIAL

ASC 401(K) MANAGEMENT

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CREATIVEONE SECURITIES, LLC

OSAIC WEALTH, INC.

Other Investors

BRANDY LYNN DEBROUX

LEIGH ANN THERN

Matthew C Bush

JOSEPH MICHAEL MILLER

JANE M VANDE VOORT

MITCHELL JOSEPH OLDEWURTEL

SHANA LYNN KEIL

SHARON IFRACH

Other Offices

MORGAN STANLEY · APPLETON, WI

PRIVATE CLIENT SERVICES, LLC · Appleton, WI

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · APPLETON, WI

KAMKO FINANCIAL · APPLETON, WI

ASC 401(K) MANAGEMENT · APPLETON, WI

STIFEL, NICOLAUS & COMPANY, INCORPORATED · APPLETON, WI

CREATIVEONE SECURITIES, LLC · Appleton, WI

OSAIC WEALTH, INC. · APPLETON, WI

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